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Court of Appeals Decision: Managers of Open-Market CLOs Not Subject to Dodd-Frank Risk Retention
  • Cadwalader Wickersham & Taft LLP
  • USA
  • February 15 2018

On February 9, 2018, a three-judge panel of the U.S. Court of Appeals for the District of Columbia Circuit unanimously ruled in favor of the Loan

Securities and Exchange Commission Launches Share Class Selection Disclosure Initiative
  • Sidley Austin LLP
  • USA
  • February 13 2018

On February 12, 2018, the U.S. Securities and Exchange Commission (SEC or Commission) issued a press release announcing the Share Class Selection

Can Your Cryptocurrency Get a Clearance?
  • Steptoe & Johnson LLP
  • USA
  • February 12 2018

You know that federal entities like the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Financial

Past, Present and Future of the DOL Fiduciary Rule
  • K&L Gates
  • USA
  • February 8 2018

The Department of Labor’s (“DOL”) fiduciary rule (“DOL Fiduciary Rule”) became applicable June 9, 2017, after an intense multiyear regulatory saga

SEC Releases Fund Liquidity Risk Management Programs Frequently Asked Questions
  • Drinker Biddle & Reath LLP
  • USA
  • January 24 2018

On January 10, 2018, the staff of the Securities and Exchange Commission (SEC) Division of Investment Management released frequently asked questions

The SEC Refocuses on Retail Investors
  • McGuireWoods LLP
  • USA
  • December 14 2017

The Financial Industry Regulatory Authority and the states traditionally have handled the bulk of retail brokerage investigations, such as the

Treasury’s Third Report on Financial System Regulation Focuses on the Asset Management and Insurance Industries
  • Dechert LLP
  • USA, Global
  • December 4 2017

The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance

SEC Charges Adviser with Improperly Recommending Higher-Fee Mutual Funds
  • Vedder Price PC
  • USA
  • October 31 2017

On September 14, 2017, the SEC settled charges against SunTrust Investment Services (SunTrust), a dual registered broker-dealer and investment adviser

Relaxation of the Minimum Paid-Up Capital Requirements for Securities and Derivatives Operators
  • Baker McKenzie
  • USA
  • October 18 2017

In August 2017 the Thai SEC issued a hearing paper on the reduction of minimum paid-up capital requirements for securities and derivatives operators

This Week in Washington for October 16, 2017
  • Paul Hastings LLP
  • USA
  • October 16 2017

Since Congress hasn’t had the votes to overturn the Affordable Care Act (Obamacare), the President is taking Executive action. It was reported on